COMPLIANCE
 

Protecting both our clients and experts is a critical part of our job.

 

Expert Policies

COMPLIANCE TRAINING

During the registration process, each expert completes compliance training that covers securities laws, confidentiality laws and our policies. Also, to be eligible to consult with our clients, they must have taken compliance training within the past year.

You can access our compliance training manual here

PROJECT ELIGIBILITY ASSESSMENT

For every project, Pengo Insight screens potential candidates to assess their eligibility and any potential conflicts of interest. For example, experts are prohibited from consulting about their current employer or other third parties to whom they owe confidentiality obligations.

 

We also restrict specific industries and classes of experts as appropriate.

TERMS & CONDITIONS

Before their first consultation, experts must agree to abide by Pengo Insight's Terms & Conditions, which prohibit the disclosure of confidential and material, non-public information. To be eligible to participate in a consultation, they must have agreed to our Terms & Conditions within the last year, and they are also required to provide current employment information.

Pengo Insight Policies

RESTRICTED COMPANIES DATABASE

Pengo Insight maintains a database of company policies that affect their employees' eligibility to participate in expert consultations. This information is fully integrated with our proprietary technology platform.

EXTERNAL LEGAL ADVICE

Pengo Insight has external legal advisory.

EMPLOYEE COMPLIANCE POLICIES

All Pengo Insight employees sign confidentiality agreements and are required to have their trading transactions pre-approved.

FEEDBACK & REVIEW

After each consultation, experts and clients have an opportunity to provide feedback directly to their Pengo Insight representative.

Compliance Approach

CLIENT OVERSIGHT

Compliance officers can access and/or sit in on client expert consultations as appropriate.

CUSTOMIZABLE RULES

Clients can determine their compliance requirements upon sign up to exclude specific categories of experts and increase their oversight where required.

You can view our terms and conditions here